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Can you summarize ARAR 003.14?
Department of Commerce > Securities Department
Short Summary
The provided legal document content covers various aspects related to the registration of securities, broker-dealers, agents, investment advisers, and investment adviser representatives in the state of Arkansas. It governs the registration process, notice filings for covered securities, requirements for registration statements, unfair and unethical practices, guidelines for requesting interpretive opinions and no-action letters, and definitions and regulations related to the Arkansas Securities Act. The documents apply to individuals seeking registration, issuers of covered securities, individuals or entities involved in the registration process, broker-dealers and investment advisers registered or licensed in Arkansas, and individuals or entities subject to the Arkansas Securities Act. Exemptions are provided for certain investment advisers located outside of Arkansas or registered in another state. The documents do not specify any specific penalties for non-compliance or violation of their provisions.
Whom does it apply to?
Individuals seeking registration, issuers of covered securities, individuals or entities involved in the registration process, broker-dealers and investment advisers registered or licensed in Arkansas, individuals or entities subject to the Arkansas Securities Act
What does it govern?
Registration of securities, broker-dealers, agents, investment advisers, and investment adviser representatives
What are exemptions?
Certain investment advisers located outside of Arkansas or registered in another state
What are the Penalties?
The documents do not specify any specific penalties for non-compliance or violation of their provisions.
Jurisdiction
Arkansas